| 16-02832 | 10/30/2018 | Claimant(s): Kathryn Schmierer
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Russell W. Merriman, Frank Brenner, Anne Marie Martin
Hearing Site: Tampa, FL
|  | $360,800 |
| 17-00474 | 08/22/2018 | Claimant(s): James Grimes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Trustmont Financial Group.
Respondent Lawyers(s): William T. Krzton
Arbitrator(s): Arthur J. Zelenak, Frank Brenner, Carol B. Robinson
Hearing Site: Tampa, FL
| | $1,046,100 |
| 16-02054 | 06/01/2017 | Claimant(s): Bethine Filion, B. Filion as Ben. of Bethine Filion IRA, B. Filion as Ben. of Richard Filion IRA, Filion Family Living Trust dtd 1/18/1992
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Garry Savage, Wall Street Strategies.
Respondent Lawyers(s): Garry N. Savage, Garry Nelson Savage
Arbitrator(s): Gayle B. Carlson, Frank Brenner, Walter William Blenner
Hearing Site: Tampa, FL
| | $769,300 |
| 13-03247 | 04/03/2014 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Robert Matarazzo
Respondent Lawyers(s): Robert John Matarazzo
Arbitrator(s): Frank Brenner
Hearing Site: Tampa, FL
| | |
| 12-02426 | 09/19/2013 | Claimant(s): Larry Mastropietro
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Constance d'Angelis, Frank Brenner, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | Expungement |
| 11-04258 | 06/03/2013 | Claimant(s): Gulf Blue Investments
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Alyn Towne, David Gregg, Robert Eanell, Sterling Enterprises Group.
Respondent Lawyers(s): Jack Kiefner, Robert Eanell
Arbitrator(s): Roger W. Van Deusen, Neal J. Tourdo, Frank Brenner
Hearing Site: Tampa, FL
| | $1,615,160 |
| 11-00611 | 10/17/2012 | Claimant(s): Peggy A. Boyles IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mimi B. Osiason, Frank Brenner, Audrey Belitz Rauchway
Hearing Site: Tampa, FL
| | $0 |
| 10-00589 | 05/21/2012 | Claimant(s): Floyd W. Smith and MaryLou K. Smith
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Frank Brenner
Hearing Site: Tampa, FL
| | Stipulated Award |
| 11-02285 | 05/07/2012 | Claimant(s): Benjamin Bosowski, Debra Nash, Gerald Nash, Jeffrey Clegg, Jessica Clegg, Lucille Nash, Manuel Cacdac, Mark Nash, Priscilla Clegg, Q. Nash, Rebecca Mitchell, Nash Foundation
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Ian S. Greig, Noel K. Evans, Frank Brenner
Hearing Site: Tampa, FL
| | $1,365,000 |
| 10-01999 | 09/22/2011 | Claimant(s): Mary Pitman
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): United Equity Securities
Respondent Lawyers(s): William B. Park
Arbitrator(s): George Felos, Frank Brenner, Jason D. White
Hearing Site: Tampa, FL
| | $248,800 |
